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Detailed Report
JUSTIN JOHN FRAME
CRD#: 2719072
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 888 SAN CLEMENTE DRIVE
NEWPORT BEACH, CA 92660
Registration History
19961998200020022004200620082010201220142016201820202022202420262 FIRMS2007 - 2009 (2 years)2 FIRMS2009 - 2020 (10 years)2 FIRMS2020 - Present (4 years)BMORGAN STANLEY DW INC. (CRD# 7556)1996 - 2007 (11 years)IAMORGAN STANLEY (CRD# 7556)1999 - 2007 (7 years)
License(s)

State Registrations

B
Alabama 11/15/2024
B
Montana 11/15/2024
B
Alaska 11/15/2024
B
Nebraska 11/15/2024
B
Arizona 1/23/2024
IA
Nevada 11/2/2023
B
Arkansas 6/24/2024
B
New Hampshire 11/15/2024
B
California 7/1/2020
B
New Jersey 11/15/2024
IA
California 7/1/2020
B
New Mexico 11/15/2024
B
Colorado 8/27/2020
B
New York 11/15/2024
B
Connecticut 11/15/2024
B
North Carolina 11/15/2024
B
Delaware 11/15/2024
B
North Dakota 11/15/2024
B
District of Columbia 11/15/2024
B
Ohio 11/15/2024
B
Florida 11/15/2024
B
Oklahoma 11/15/2024
B
Georgia 11/15/2024
B
Oregon 11/15/2024
B
Hawaii 11/18/2022
B
Pennsylvania 11/15/2024
B
Idaho 11/15/2024
B
Puerto Rico 12/24/2024
B
Illinois 11/15/2024
B
Rhode Island 11/15/2024
B
Indiana 11/15/2024
B
South Carolina 11/15/2024
B
Iowa 11/15/2024
B
South Dakota 11/15/2024
B
Kansas 11/15/2024
B
Tennessee 11/15/2024
B
Kentucky 11/15/2024
B
Texas 11/15/2024
B
Louisiana 11/15/2024
B
Utah 11/15/2024
B
Maine 11/15/2024
B
Vermont 11/15/2024
B
Maryland 11/15/2024
B
Virgin Islands 12/24/2024
B
Massachusetts 11/15/2024
B
Virginia 11/15/2024
B
Michigan 11/15/2024
B
Washington 11/15/2024
B
Minnesota 11/15/2024
B
West Virginia 12/24/2024
B
Mississippi 11/15/2024
B
Wisconsin 11/15/2024
B
Missouri 11/15/2024
B
Wyoming 11/15/2024

SRO Registrations

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 BOX Exchange LLC
B
 Cboe Exchange, Inc.
B
 FINRA
B
 NYSE American LLC
B
 NYSE Arca, Inc.
B
 NYSE Chicago, Inc.
B
 Nasdaq ISE, LLC
B
 Nasdaq PHLX LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
UBS FINANCIAL SERVICES INC. (CRD#:8174)
888 SAN CLEMENTE DRIVE, NEWPORT BEACH, CA 92660
1200 PROSPECT STREET Suite 100, LA JOLLA, CA 92037
Registered with this firm since 7/1/2020
B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
888 SAN CLEMENTE DRIVE, NEWPORT BEACH, CA 92660
1200 PROSPECT STREET Suite 100, LA JOLLA, CA 92037
Registered with this firm since 7/1/2020
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 06/01/2009 - 04/22/2020 MORGAN STANLEY (CRD#:149777) IRVINE, CA
B
 06/01/2009 - 04/22/2020 MORGAN STANLEY (CRD#:149777) IRVINE, CA
IA
 04/02/2007 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) DENVER, CO
B
 04/02/2007 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) DENVER, CO
IA
 05/26/1999 - 04/02/2007 MORGAN STANLEY (CRD#:7556) DENVER, CO
B
 04/10/1996 - 04/02/2007 MORGAN STANLEY DW INC. (CRD#:7556) DENVER, CO
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.